Ariel Imas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ariel Imas was a registered financial professional .
Ariel is a previously registered financial professional and started their career in finance in 2005. Ariel had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2025 - November 12, 2025
FINALIS SECURITIES LLC
April 12, 2023 - February 4, 2025
KINGSWOOD CAPITAL PARTNERS, LLC
May 17, 2022 - April 12, 2023
WESTPARK CAPITAL, INC.
October 11, 2020 - May 6, 2022
D. BORAL CAPITAL
October 17, 2018 - October 5, 2020
SW FINANCIAL
October 20, 2015 - October 18, 2018
EASTGATE SECURITIES, LLC
September 25, 2012 - October 15, 2015
TRIPOINT GLOBAL EQUITIES/BANQ(R)
April 29, 2011 - October 10, 2012
DU PASQUIER & CO., INC.
May 1, 2009 - April 26, 2011
AVALON SECURITIES, LTD.
August 20, 2007 - April 23, 2009
SPENCER CLARKE LLC
November 28, 2005 - August 17, 2007
MIDTOWN PARTNERS
May 16, 2005 - November 1, 2005
KELLOGG CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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